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Search Results: misrepresentations
Results 300-310 of about 327
Date: July 14, 2009
Valid claims include those for fraud, misrepresentation, unsuitable investments, failure to disclose risks, or even for negligence.” Related Web Resources: Investor Arbitration Claims Sharply Up , Law.com FINRA Continue Reading ›
Date: June 25, 2009
He also made material misrepresentations to clients and prospective investors. He told them they could make a lot of money but they would have to go outside the traditional brokerage account for diversity when making investments. At least five investors ...
Date: June 14, 2009
The SEC and the CFTC contend that the two men engaged in misrepresentation when they made it appear as if their foreign exchange trading business never had a losing month, achieved a yearly return of over 23%, and that their ...
Date: June 1, 2009
On May 7, Virginia’s State Corporation Commission’s ‘s Division of Securities and Retail Franchising filed its civil lawsuit accusing the broker-dealer of making misrepresentations and false statements related to the sale of auction-rate securities, as well as failing to properly ...
Date: April 5, 2009
The fund’s arbitration claim had accused Merrill Lynch and subsidiary Advest Inc. of misrepresentation, negligence, breach of fiduciary duty, and breach of contract. The claim had also accused Advest Inc. of encouraging it to buy into Sphinx Managed Futures Index ...
Date: March 20, 2009
Last December, the Texas State Securities Board issued a final order mandating that Citigroup pay the state $3.6 million for making misrepresentations to investors about the auction-rate securities.
Date: March 11, 2009
The class action lawsuit accuses Moody’s of claiming it was an independent body that impartially published accurate financial instrument ratings when such misrepresentations artificially inflated its stock price (until media reports about its compromised objectivity caused the value of its ...
Date: February 18, 2009
The SEC also censured former Merrill Lynch adviser Michael Callaway for breach of fiduciary duty when he made misrepresentations about the manager identification process and his compensation related to transition management services. The SEC says Callaway should have made sure ...
Date: February 9, 2009
In the US District Court for the Southern District of Texas, Judge Nancy Atlas found that the plaintiffs met their burden when pleading material misrepresentations and omissions in Superior’s registration statement. She denied the defendants’ request to dismiss the complaint.
Date: February 2, 2009
If you believe that you were a victim of investor fraud or broker dealer misrepresentation and that these inappropriate actions caused you to sustain investor losses, you may be entitled to the recovery of those losses. Related Web Resources: Ohio ...
